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Appendix A

EXAMPLES OF RISK EVALUATION

Risk Evaluation Matrix
(Division of Social Services)

Subrecipient Name:

________________________________________

Date Completed:

_____________

 

Risk Level

 

Low Risk

Medium Risk

High Risk

 

Criteria

Description

Rank

Description

Rank

Description

Rank

Score

               

1. Staffing:

Staff Qualifications

Staff in key positions are professionally trained and have one or more years experience in that position.

1

At least half of staff in key positions are professionally trained for the position they hold and have some experience

2

Staff in key positions have little or no experience or training in program area being funded.

3

 

Staff Turnover

No change in staff in key positions.

1

Either new or no staff in 1 or more key positions.

2

Either new or no agency administrator and/or fiscal officer.

3

 
               

2. History of Meeting Requirements:

Program

Agency has provided services and met program objectives specified in contract/funding agreement for past 2 years or more.

2

First year of funding for program (no basis for evaluation)

4

Program compliance history of the past 2 years includes weaknesses in service delivery/program objectives.

6

 

Fiscal

No significant audit findings for the past 2 years.

2

Minor audit findings with pending corrective actions.

4

Significant audit findings within past 2 years or audit findings not addressed and resolved in timely manner.

6

 

Reporting

Program and fiscal reports are almost always submitted in timely and accurate manner.

2

Routine reports are frequently late and contain some errors.

4

Routine reports reflect significant discrepancies or omissions.

6

 
               

3. Complexity of Funding:

Funds awarded

Funding is relatively simple in terms of allowable expenditures and documentation required.

2

Funding is moderately complex in terms of allowable expenditures and documentation required.

4

Funding is very complex in terms of allowable expenditures and documentation required.

6

 
               

4. Amount of Funding:

Amount

Less than $25,000

2

$25,000-$299,999

4

$300,000 and over

6

 
               

5. Self Assessment

 

Self assessment shows few or no internal control weaknesses

1

Self assessment shows several internal control weaknesses.

2

Self assessment shows major internal control weaknesses

3

 
               
 

Evaluation Score Key:
Low Risk = 13 - 20
Medium Risk = 21 - 30
High Risk = 31 - 39

   

Total Evaluation Score:

   
               
 

Completed by:

_____________________________________

Date:

____________

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